Vice President, Legal – Chief Compliance Officer

This is a fully remote position, open to applicants in United States.

📋 Description

• Act as the firm's appointed Chief Compliance Officer.

• Manage SEC regulatory compliance, including necessary filings, examinations, and regulatory inquiries.

• Direct the creation, implementation, and ongoing enhancement of the compliance framework.

• Supervise policies, risk assessments, testing, monitoring, training, and annual regulatory reviews.

• Serve as the senior legal advisor to the company.

• Manage commercial agreements, corporate governance, employment-related legal issues, intellectual property, disputes, and relationships with outside counsel.

• Provide guidance to executive leadership and cross-functional teams on legal and regulatory issues concerning products, technology, client experiences, commercial partnerships, and AI.

• Oversee legal and compliance matters related to information security, SOC 2 Type 2, data privacy, corporate governance, and fiduciary responsibilities for employee benefit plans.

• Contribute to shaping business strategy and facilitating sustainable growth.

⛳️ Requirements

• Juris Doctor (JD) and an active license to practice law in at least one U.S. jurisdiction.

• Over 10 years of progressive experience in legal and regulatory compliance.

• Significant experience within SEC-registered investment advisors, wealth management, or regulated financial services.

• Demonstrated senior-level leadership experience.

• Direct responsibility for legal issues and oversight of an SEC-registered investment advisor's compliance program.

• Extensive knowledge of SEC regulations, including Rule 206(4)-7, the SEC Marketing Rule, and relevant RIA compliance requirements.

• Experience in managing SEC examinations, regulatory risks, compliance programs, and complex commercial and corporate legal issues.

• Strong executive presence, sound judgment, and the capability to advise senior leaders while balancing regulatory requirements with business goals.

• Proactive, solutions-oriented mindset.

• Ability to work independently and effectively in a fast-paced setting.

• Candidates must be legally authorized to work in the United States.

• SmartAsset cannot provide employment visa sponsorship for this position, now or in the future.

🏝️ Benefits

• Fully remote work available within the contiguous U.S.

• A variety of medical, dental, and vision plan options through reputable national carriers.

• Company-paid Life/AD&D insurance coverage.

• Options for supplemental life and disability insurance plans.

• 401(k) plan with employer matching contributions.

• Flexible Spending Account (FSA) and Health Savings Account (HSA) options.

• Equity packages provided for every role.

• Generous policies for vacation, sick leave, and parental leave.

• Home office stipend.

• Access to an Employee Assistance Program (EAP).